Securities and Exchange Commission Historical Society

This Week in SEC History

January 27, 2009 - Mary Schapiro becomes Chair. Today in 2009, Mary Schapiro became Chair of the SEC. Schapiro brought experience from the SEC, the CFTC, and the NASD to bear on challenges including building back from the Madoff scandal, and regulating high frequency trading after the May 2010 “Flash Crash.”
NEWS
A bridge silhouetted against a sunset
A Bridge at Sunset

Welcome 2023 Board Officers, New Trustees & Advisors

As of January 1, 2023

OFFICERS

  • James W. Barratt, Chair
  • Susan G. Markel, President
  • Meredith B. Cross, President-Elect
  • Lori A. Richards, Secretary
  • Shelley E. Parratt, Treasurer
  • G. Jeffrey Boujoukos, VP, Museum
  • Ronald C. Long, VP, Development & Engagement

NEW TRUSTEES

  • Peter K.M. Chan, Baker McKenzie LLP
  • Keir Gumbs, Broadridge
  • Shelley E. Parratt, Former SEC Acting Director, SEC Division of Corporation Finance

NEW ADVISORS

  • Karen J. Garnett, Schwab
  • Elizabeth P. Gray, Willkie, Farr & Gallagher LLP
  • Barry W. Rashkover, Sidley Austin LLP
  • Claudius O. Sokenu, UNISYS

Thank you for volunteering your time, expertise and support!

Upcoming Program
Panelists
Andrew M. Calamari; Haima V. Marlier; Barry W. Rashkover; Silvia L. Serpe; Ladan F. Stewart.

Litigating Against the SEC: Challenges and Approaches

WHEN
Tuesday, January 10, 2023
3:30 -5:00 PM (ET)

WHERE
Sidley Austin LLP
787 7th Avenue
New York, NY 10019

Full Program Details

Historically, most Securities and Exchange Commission enforcement actions have settled without litigation. Increasingly, however, parties in the cross-hairs of SEC Enforcement are considering the pros and cons of litigating rather than settling. Join Sidley, the SEC Historical Society, and a panel of current and former SEC litigators as we examine how and why litigation with the SEC has evolved over time. Panelists will explore changes in practices and procedures and their effects as evidenced by recent Supreme Court rulings and other decisions.

This program is made possible with the generous support of Sidley Austin LLP.

Program
Angled view of the side of a sky scraper.
Perspective view of a skyscraper.

Tuesday, October 11 // 5:00 pm (ET)

From OCIE to the Division of Examinations: A Leadership Perspective on the Past and Future of the SEC Examinations Program

The SEC’s Office of Compliance Inspections and Examinations (OCIE) was formed in 1995, consolidating all of the Commission’s examination and inspection activities in a single unit. On December 17, 2020, OCIE was renamed the Division of Examinations. This special program focuses on the recent evolution of OCIE to the Division of Examinations. (CLE credit in NJ, NY, and PA will be offered for in-person attendance.)

Full Program Details

This program is made possible with a grant from Morgan, Lewis and Bockius, LLP.

Program
Grid of 8 portraits.
(Top) Randall J. Fons; Merri Jo Gillette; David Glockner; Daniel R. Gregus (Bottom) Mary E. Keefe; Joel R. Levin; Anita M. Nagler; Lori A. Richards.

Thursday, October 13 // 3:00 pm (ET)

The SEC Chicago Regional Office – A Distinctive History

As part of a new gallery soon to open on the history of the U.S. Securities and Exchange Commission’s Regional Offices, the SEC Historical Society and Northwestern University Pritzker School of Law invite you to attend a program on the evolution of the Chicago Regional Office featuring its current and former leaders. (CLE credit in Illinois will be offered for in-person attendance.)

Full Program Details

This program is made possible through the generous support of Peter K.M. Chan, Charles River Associates, Northwestern University Pritzker School of Law and Lori A. Richards.

Video

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